FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058633501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond James & Associates, Inc. (Respondent) Member Firm CRD No. 705 Raymond James Financial Services, Inc. (Respondent) Member Firm CRD No.6694 Pursuant to FINRA Rule 9216, Respondents Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc. (RJFS) submit this Letter of Acceptance.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076103601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carlos Leston (Respondent) General Securities Representative CRD No. 3021614 Pursuant to FINRA Rule 9216, Respondent Carlos Leston submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.